13F-HR filed by MML INVESTORS SERVICES, LLC
MML INVESTORS SERVICES, LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 1,313 holding rows worth $4,839,043,000.
- Accession
- 0000701059-17-000020
- Filer
- CIK 701059
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 1,313 entries on the cover page, a total value of $4,839,043,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,839,043,000 with VALUE read as thousands by filing date, 13F file number 028-16947. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 19,919 | $307,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 5,525 | $307,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 23,257 | $307,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 19,175 | $307,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 2,604 | $305,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 1,536 | $305,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 1,688 | $302,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,939 | $302,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 18,712 | $302,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 2,844 | $301,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 4,693 | $301,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 15,817 | $298,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 2,191 | $297,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 2,063 | $297,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 12,715 | $297,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 11,793 | $297,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 2,676 | $297,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 15,482 | $297,000 | thousands by filing date | |
| BARNES GROUP INC | 067806109 | COM | 4,203 | $296,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 83,241 | $294,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 6,776 | $293,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 8,104 | $292,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 16,932 | $292,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 2,129 | $290,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 6,468 | $290,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 11,059 | $290,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 8,286 | $290,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 17,349 | $290,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 13,375 | $290,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 6,788 | $289,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 5,663 | $289,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 22,852 | $289,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 15,061 | $289,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 5,729 | $288,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 10,879 | $288,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 3,918 | $288,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 12,879 | $287,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 15,746 | $286,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 2,501 | $285,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 12,192 | $285,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 5,728 | $284,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 19,827 | $284,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 42,937 | $283,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 6,012 | $283,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 13,279 | $283,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 1,529 | $283,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 18,682 | $281,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 1,972 | $280,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 14,440 | $280,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,780 | $278,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 49,540 | $278,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 3,861 | $277,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 11,191 | $277,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 896 | $276,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 5,577 | $275,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 1,925 | $274,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 18,229 | $272,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 11,265 | $272,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 3,497 | $271,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 12,716 | $271,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 18,777 | $271,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 4,507 | $270,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 4,357 | $270,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 10,447 | $270,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 34,925 | $270,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,393 | $269,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 13,751 | $269,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B862 | VAR RAT INV GR | 10,658 | $269,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 8,751 | $268,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 1,047 | $267,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 3,182 | $267,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 1,481 | $266,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 1,708 | $265,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 13,492 | $264,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 20,454 | $264,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 8,082 | $263,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 9,601 | $263,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 2,865 | $262,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 5,245 | $262,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 3,121 | $260,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 6,834 | $259,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 8,727 | $258,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 4,509 | $257,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 63,621 | $257,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 3,361 | $256,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 17,538 | $256,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 3,229 | $256,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 55,856 | $256,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 4,076 | $256,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 13,752 | $254,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 2,110 | $254,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 6,038 | $254,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 15,433 | $254,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 3,220 | $254,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 48,787 | $252,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 8,886 | $252,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 13,797 | $252,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 9,906 | $252,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 4,943 | $250,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,607 | $250,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 2,515 | $249,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 12,734 | $249,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,628 | $249,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 3,684 | $248,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 3,348 | $248,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 9,827 | $248,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 2,930 | $247,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 5,230 | $247,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 2,321 | $247,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 10,818 | $247,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 19,621 | $246,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 7,008 | $246,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 35,259 | $245,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 4,842 | $245,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 2,603 | $243,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 6,792 | $241,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 7,507 | $241,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 2,083 | $240,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 11,972 | $240,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 3,456 | $240,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 8,720 | $240,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 6,567 | $239,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,202 | $239,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 4,365 | $239,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,277 | $239,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 5,247 | $239,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 13,066 | $239,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 8,160 | $238,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 2,773 | $238,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 6,204 | $238,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 3,072 | $238,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 3,875 | $238,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 19,659 | $237,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 26,490 | $236,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,110 | $236,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 2,527 | $235,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 3,649 | $235,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 17,281 | $235,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 9,732 | $235,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 2,897 | $233,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 14,453 | $233,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 2,204 | $232,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 2,133 | $231,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 6,698 | $231,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 14,752 | $228,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 13,747 | $228,000 | thousands by filing date | |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 8,412 | $228,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,844 | $227,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 13,455 | $227,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 1,756 | $226,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 1,321 | $226,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 14,839 | $226,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 2,092 | $226,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 1,940 | $225,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 11,299 | $225,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 10,213 | $224,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 16,421 | $224,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 15,890 | $222,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,991 | $221,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 6,473 | $221,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 28,841 | $221,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 6,895 | $220,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 25,087 | $220,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 8,010 | $219,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 2,097 | $219,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 1,155 | $219,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 3,664 | $218,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,442 | $218,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 6,963 | $218,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 6,935 | $218,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 3,625 | $217,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 8,798 | $217,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 5,598 | $217,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 23,204 | $216,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 9,130 | $216,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 4,609 | $213,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 1,883 | $213,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 5,403 | $213,000 | thousands by filing date | |
| STERIS PLC | G84720104 | SHS USD | 2,406 | $213,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 20,345 | $212,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 3,856 | $212,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 4,517 | $211,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 4,964 | $211,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 37,691 | $211,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 1,198 | $210,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 2,727 | $210,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 1,506 | $210,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 4,273 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 8,071 | $210,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 6,016 | $210,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 18,222 | $210,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 19,670 | $210,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 3,694 | $209,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,158 | $208,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 8,216 | $208,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 2,911 | $208,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 4,014 | $208,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 7,450 | $208,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 6,755 | $208,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 5,474 | $208,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 3,038 | $208,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 1,057 | $207,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 2,684 | $207,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 8,188 | $207,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 3,872 | $206,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 5,333 | $206,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 3,084 | $206,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 10,718 | $206,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 2,237 | $206,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 6,079 | $205,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 4,136 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,014 | $205,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 7,940 | $204,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,524 | $204,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 3,069 | $203,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 1,940 | $203,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,386 | $203,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 1,577 | $202,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 2,602 | $202,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 2,039 | $201,000 | thousands by filing date | |
| BARD C R INC | 067383109 | COM | 628 | $201,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 6,666 | $200,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 3,937 | $200,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 3,018 | $200,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 15,544 | $200,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 20,500 | $199,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 14,249 | $196,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 19,510 | $196,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,769 | $196,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 51,128 | $195,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 13,214 | $194,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 10,319 | $194,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 13,238 | $192,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 15,065 | $191,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 14,362 | $189,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 13,859 | $186,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 10,701 | $186,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 10,251 | $185,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 28,047 | $184,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 31,787 | $184,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 21,373 | $184,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 13,863 | $183,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 13,186 | $182,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 14,828 | $180,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 11,066 | $178,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 20,967 | $178,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 11,241 | $171,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 12,010 | $170,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 19,657 | $168,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 11,014 | $166,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 11,746 | $165,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 46,498 | $159,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 19,609 | $158,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 12,442 | $157,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,029 | $156,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 12,023 | $152,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 12,386 | $151,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 12,608 | $150,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 15,326 | $149,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 11,267 | $146,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 10,348 | $144,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 10,856 | $143,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,888 | $143,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 14,100 | $143,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 11,760 | $142,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 11,914 | $141,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 13,041 | $138,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 42,400 | $137,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 24,912 | $136,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 11,429 | $133,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 16,523 | $132,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 14,653 | $129,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 11,237 | $119,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 10,697 | $118,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,461 | $117,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 10,034 | $112,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 56,705 | $111,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 18,098 | $111,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 10,107 | $104,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 19,871 | $104,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 11,109 | $102,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 12,121 | $101,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 11,468 | $100,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 17,600 | $99,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 17,500 | $90,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 13,480 | $88,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 11,955 | $84,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 10,621 | $83,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 17,741 | $82,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 10,279 | $71,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 10,690 | $69,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 29,503 | $69,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 12,059 | $68,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,790 | $66,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 10,248 | $64,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 18,002 | $61,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 12,855 | $58,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 12,000 | $57,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 26,055 | $53,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,409 | $51,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 20,000 | $47,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,400 | $47,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 24,248 | $46,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 25,000 | $45,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 18,825 | $41,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 12,223 | $39,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,752 | $33,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 26,671 | $32,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,391 | $24,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 13,590 | $14,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 13,000 | $8,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,000 | $4,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000701059-17-000020 | this filing | 2017-11-14 | acceptance time not in the bulk data set |